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Handling Complaints Policy
"I need a Handling Complaints Policy for my medium-sized financial services company in New Zealand, with specific focus on digital banking complaints and integration with our online banking platform, ensuring compliance with financial sector regulations and the Privacy Act 2020."
1. Purpose and Scope: Outlines the objectives of the policy and its application scope, including which types of complaints are covered
2. Definitions: Clear definitions of key terms including 'complaint', 'complainant', 'serious complaint', 'vexatious complaint', and other relevant terminology
3. Principles: Core principles guiding complaint handling: fairness, objectivity, confidentiality, timeliness, accessibility, and no-blame approach
4. Roles and Responsibilities: Defines responsibilities of staff members, management, and designated complaint handlers
5. Complaint Handling Process: Step-by-step process for receiving, acknowledging, assessing, investigating, and resolving complaints
6. Timeframes: Specific timeframes for each stage of the complaint handling process
7. Recording and Reporting: Procedures for documenting complaints, maintaining records, and reporting requirements
8. Privacy and Confidentiality: Guidelines for handling personal information and maintaining confidentiality during the complaint process
9. Review and Continuous Improvement: Process for reviewing the effectiveness of the complaint handling system and implementing improvements
1. Industry-Specific Requirements: Additional requirements for specific industries (e.g., healthcare, financial services, education)
2. External Dispute Resolution: Information about external dispute resolution schemes and when to use them
3. Vexatious Complaints Procedure: Specific procedures for handling repeated or unreasonable complaints
4. Cultural Considerations: Specific provisions for cultural sensitivity and Treaty of Waitangi obligations
5. Social Media Complaints: Procedures for handling complaints received through social media channels
6. Compensation Framework: Guidelines for when and how compensation may be offered as part of complaint resolution
1. Complaint Form Template: Standard form for recording complaint details
2. Complaint Register Template: Template for maintaining a complaints register
3. Response Letter Templates: Standard templates for acknowledging and responding to complaints
4. Escalation Matrix: Guide showing escalation pathways and authority levels
5. External Agency Contact List: List of relevant external agencies and dispute resolution services
6. Privacy Statement: Detailed statement on how personal information is handled during complaints process
Authors
Retail
Healthcare
Financial Services
Education
Professional Services
Hospitality
Manufacturing
Technology
Government
Non-profit
Telecommunications
Transportation
Construction
Real Estate
Customer Service
Legal
Compliance
Quality Assurance
Operations
Risk Management
Human Resources
Senior Management
Front Office
Customer Experience
Administration
Corporate Communications
Customer Service Manager
Compliance Officer
Quality Assurance Manager
Operations Manager
Customer Experience Director
Risk Manager
General Manager
Customer Relations Officer
Branch Manager
Service Delivery Manager
Legal Counsel
Human Resources Manager
Chief Operating Officer
Customer Support Representative
Department Head
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